Regulatory Conduct Capabilities

3 weeks ago

Mumbai, India HSBC Full time

-Job description
-

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**Some careers open more doors than others.**

If you’re looking for a career that will unlock new opportunities, join HSBC and experience the possibilities. Whether you want a career that could take you to the top, or simply take you in an exciting new direction, HSBC offers opportunities, support and rewards that will take you further.

**Job Introduction**

As Risk Stewards, Regulatory Compliance (RC) Advisors provide advice, guidance, opinions, direction, and training related to the regulatory landscape to the First Line of Defence/business. They ensure the business complies with the letter and spirit of relevant regulations, thereby delivering fair outcomes for customers and embedding a robust risk management culture in HSBC's business processes. They are a key risk management role that has a broad remit and responsibilities, which include, but are not limited to; advice and oversight on Conduct, Regulatory Affairs & Policy (RAP), Controls, Monitoring & Testing (CMAT), Assurance, Regulator Engagement, conflict management and general compliance issues.

The remit may range from a small geographic area/country to global for a Function or Global Business Line.

**Principal Responsibilities**

The role holder's responsibilities include but are not limited to:

- Assisting senior regulatory advisors in providing compliance support, advice and guidance to the first and second lines of defence relative to assigned regulation(s), regulatory requirements and/or compliance risks. Assists in identifying any possible compliance deficiencies related to assigned regulation(s), regulatory requirements and/or compliance risks. Provide support to compliance projects which may include gathering and documenting functional requirements and reviewing key technical documentation
- Providing support to the team in order to ensure that risks are appropriately identified, reported and recorded in a timely manner
- Providing a quality day-to-day compliance service to a number of key business units and advisory services to the Lines of Business
- Supporting execution and reporting of trend analysis metrics and all other available risk outputs
- Working with the wider compliance functions to identify emerging regulatory risk and to enhance and expand reportable issues
- Assisting management in undertaking research, collation and analysis of data management information (MI) for presenting to the regulatory governing bodies and Senior management team
- Assisting handling of regulatory matters including on-site inspections, meetings, visits, surveys, administrative approvals, product filings, policy imperatives, banking association affairs, etc.
- To discharge the accountabilities set out in the GSM and Compliance FIM by pro-actively assisting management in identifying and containing compliance risk, monitoring, reporting and certification; fostering a compliance culture and optimising relations with regulators
- Assist Compliance Management in their support of Business Management in fulfilling their responsibilities in complying with the spirit and letter of all regulatory requirements and key Group requirements, as established by Group Compliance
- To support, advise on and monitor all aspects of the business, in order that line management can ensure that these business lines are conducted in accordance with the letter and spirit of all applicable laws, rules, regulations, codes of practice, Group Standards Manual and Compliance section of the Global Risk FIM
Requirements
- Bachelor’s degree in business, finance, related field or equivalent experience.
- Minimum of two years in banking and wealth management.
- Strong experience, knowledge and understanding of the regulatory compliance in wealth management & banking domain.
- Good knowledge of financial services industry and ability to understand and negotiate through the HSBC internal network, global economics and financial services.

**Useful Link**
Link to Careers Site: Click
***
**HERE**
You’ll achieve more at HSBC.
HSBC is committed to building a culture where all employees are valued, respected and opinions count. We take pride in providing a workplace that fosters continuous professional development, flexible working and opportunities to grow within an inclusive and diverse environment.
- Issued by The Hongkong and Shanghai Banking Corporation Limited, India_

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